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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-02-03
TX RA APPROVED_RES 2024-07-18
  • CA RA
    APPROVED
    Since 2025-02-03
  • TX RA
    APPROVED_RES
    Since 2024-07-18

Branch Locations

598 Bosworth St., Suite 1, San Francisco, CA 94131 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Quest Securities, Inc. San Francisco CA 01/1995 02/2017
Crown Capital Securities, Lp Orange CA 02/2017 Present
Lpl Financial Llc San Francisco CA 04/2024 Present
Private Advisor Group, Llc Morristown NJ 04/2024 Present
  • 01/1995 → 02/2017
    Quest Securities, Inc.
    San Francisco, CA
  • 02/2017 → Present
    Crown Capital Securities, Lp
    Orange, CA
  • 04/2024 → Present
    Lpl Financial Llc
    San Francisco, CA
  • 04/2024 → Present
    Morristown, NJ
Previous Registrations
  • 2017-02-03 → 2024-04-17
    Crown Capital Securities, L.P.
    San Francisco, CA
    Fair Oaks, CA
    San Francisco, CA
  • 2011-09-26 → 2017-02-03
    Quest Securities, Inc.
    San Francisco, CA
Other Businesses

1. 04/17/2024 - Juno Private Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 160 Hours Per Month/ 8 Hours During Trading 2. 04/24/2024 - Private Advisor Group - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 4/1/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/22/2024 - Private Advisor Group - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 11/12/2024 - Private Advisor Group - DBA: Juno Asset Management - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 11/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-04-28
  • S63 Uniform Securities Agent State Law Examination
    1995-04-28

View on SEC IAPD

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